REVITALIZATION OF MONGOLIA’S

PROTECTED AREAS THROUGH

EFFECTIVE FOREST MANAGEMENT

OF BOGD KHAN UUL

Resettlement Process Framework

June 27, 2010

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Background The 4-year project is intended to be pivotal to the way in which protected areas in Mongolia are perceived

and supported. Project activities under the component supporting management of the Bogd Khan Uul

SPA may adversely affect some households by restricting their access to natural resources. This Process

Framework has been prepared to address such impacts in accordance with the World Bank’s Operational

Policy on Involuntary Resettlement (OP 4.12). The Process Framework is intended to establish the

participatory processes through which potentially affected persons engage in the design of restrictions of

access and implementation of appropriate mitigation measures. The Special Protected Areas

Administration and higher levels in MNET have decided not to undertake any physical resettlement

(relocation) of relatively recent occupants in Bogd Khan Uul SPA, although they may cancel permits for

land use if holders have not satisfied their legal obligations. If there is cancellation – even though these

people would be relatively rich – and even though the action is outside the project and not financed by the

GEF, the Bank’s OP 4.12 requires the preparation of a Resettlement Plan in consultation with affected

persons to provide appropriate compensation measures. Since the policy requirements concerning

relocation or the taking of land or assets are very different from the requirement for restrictions of access

to natural resources, this Process Framework only concerns the policy requirements for addressing

potential adverse impacts from restrictions of access to natural resources. Any other involuntary

resettlement will be dealt with separately.

Objectives and Content of the Process Framework The Bank’s Involuntary Resettlement Policy aims to avoid impacts from involuntary restrictions of access

to natural resources in legally designated parks and protected areas. Where this is not feasible it aims to

minimize and compensate for such impacts. Affected persons should be assisted in their efforts to

improve their livelihoods and standards of living or at least to restore them to levels prior to project

implementation in a manner that maintains the sustainability of the parks and protected areas (OP 4.12,

paragraph 2). The Framework does not apply to projects that provide incentives to change livelihood and

natural resource use practices on a voluntary basis as long as this is not based on coercion or

manipulation.1

The objectives of this Process Framework are thus to avoid, minimize, or mitigate potentially adverse

effects of restrictions of access to natural resources, and ensure that affected communities are consulted

with and participate in meaningful ways in project activities affecting them. Specifically, the Framework

describes participatory processes by which the following activities will be accomplished:

Preparation and implementation of project activities affecting local communities, including how

affected communities participate in project preparation and implementation;

Determination of criteria for eligibility of affected persons. The Framework describes preliminary

eligibility criteria and potential persons and communities affected as well as the participatory

process during project implementation to determine final eligibility criteria for any mitigating or

compensating measures necessary, to identify affected persons, and to assess type and scope of

adverse impacts;

Development of measures to assist affected persons in their efforts to improve, or at least

maintain, their livelihoods and standards of living, in real terms, while maintaining the

sustainability of the Bogd Khan Uul SPA.

1 See the full World Bank Operational Policy 4.12 on Involuntary Resettlement as well as the World Bank’s

Involuntary Resettlement Sourcebook: Planning and Implementation in Development Projects (2004) for more

guidance.

Development of a Plan of Action during project implementation that describes the agreed

restrictions, management schemes, measures to assist the affected persons and the arrangements

for their implementation. This could be in the form of a natural resource use agreement or

protected areas management plan provided such an instrument includes the elements of the policy

requirements.

Resolution of potential conflicts within or between affected communities and grievances that may

arise from members of communities who are dissatisfied with the eligibility criteria, community

planning measures, or actual implementation;

Implementation arrangements; and

Monitoring and evaluation arrangements.

Potential Adverse Impacts from Project Activities A key component of the project is support to improved management of the Bogd Khan Uul SPA. This

will result in improved enforcement of management plans and regulations potentially affecting local

communities using the natural resources inside Bogd Khan Uul SPA. As described above, activities

supported that may have adverse impacts on vulnerable individuals and parts of local communities

include improved patrolling, improved means of reporting infractions by the general public, greater

attention to the extraction of natural resurces on this revered mountain among the general public, and

potentially less flexibility in the approach taken by rangers towards miscreants.

Criteria for Eligibility of Affected Persons A typology of project-affected persons could be as follows:

SPA residents who have recently (<8 years) arrived in SPA valleys, live in expensive houses and

apartments and have little or no further contact with the SPA and would have contact with the

project only through the campaigns and advocacy;

Long-term (>8 years) and relatively-poor SPA residents who by reasons of work with the railway

or SPA live inside the SPA. Those associated with the SPA are likely involved in some form of

protection work and usually graze livestock in the SPA. These would also be touched by the

campaigns and advocacy, would serve as guardians in some capacity;

Poor and not-so-poor residents of Ulaanbaatar who visit the SPA with the intention of stealing

resources for commercial benefit. These would come up against the improved patrolling and

reporting systems being introduced by the project;

Poor residents of Ulaanbaatar and especially of Nailaikh and Yarmag who visit the SPA with the

intention of gathering fuelwood and other products for their own use2. These risk being

highlighted and need the project to help them deal with possible changes in patrolling approach.

At this stage, it would appear that communities and persons potentially eligible for the measures outlined

in this Framework are those who live within or near the Bogd Khan Uul SPA and who will be affected by

project activities to improve biodiversity conservation through improved enforcement of existing

regulations. The Process Framework is concerned primarily with those who have lived in or around Bogd

Khan Uul SPA for one or more generations (at least seasonally) with no or very restricted other sources of

livelihood – closest to the fourth category above. The SPA rangers aleady take a flexible/lenient attitude

towards people meeting certain criteria such as old, poor widows, especially in the winter, and this sort of

2 The number of people estimated to collect fuelwood are as follows: Artsat – 20; Chandmana – 6; Zaisan – 25;

Jargalant – 30; Hurhree - 12

recognition of those needing project assistance is what the project will codify. People conducting

activities that are illegal, unsustainable, and destructive are excluded from the provisions of this

Framework, given that these activities undermine the purpose of the established SPA and the

objective of the project.

Detailed criteria for identifying the individuals who will be eligible to be covered by this Process

Framework will, however, be developed during project implementation by the Community Liaison

Officer under the guidance of the Chief Technical Advisor with the assistance of the three part-time

community based officers, and informed by the planned socio-economic surveys (see budget below). The

degree to which various groups and persons benefit from and interact with the resources of the Bogd

Khan Uul SPA, and potential negative and positive benefits from the implementation of project activities,

will be assessed. The resulting action plan will include criteria for eligibility for particular necessary

mitigation measures.

A typical project-affected person who would be covered by the Process Framework. She gathers

fuelwood in Bogd Khan Uul SPA illegal and is seen here carrying the dead wood back to her home in

Yarmag for her own use. A survey to be conducted during project implementation will determine how

many people there are like her.

Implementation Arrangements for the Process Framework In order to promote harmonious relationship between the Bogd Khan Uul SPA Administration and local

residents and to foster participatory conservation management, the project supports the development of a

community co-management approach in Bogd Khan Uul SPA. Local herders and residents in Bogd Khan

Uul SPA have shown interest in participating in collaborative conservation activities with the Bogd Khan

Uul SPA Administration, particularly patrolling and other protection activities. The participatory co-

management approach will aim to develop equitable benefits from project activities and avoid, to the

extent possible, restrictions of access to natural resources that will adversely affect local poor and

resource-dependent people. Avoidance of adverse impacts will be considered when developing work

plans within Bogd Khan Uul SPA.

The participatory approach will be developed in more detail during early project implementation. It will

include measures to ensure a credible approach where decisions are based on sufficient information and

open discussions that lead to joint agreements. Steps will be taken to ensure that vulnerable communities

and individuals will be able to participate and voice their concerns and suggestions.

The project, through the Community Liaison Officer will establish a multi-stakeholder forum to enable

joint planning and working between local stakeholders connected to the management of the Bogd Khan

Uul SPA. The forum will play an important role in ensuring that the interests of local communities,

including herders, are considered and participate in work planning, prioritization and implementation.

The participatory process surrounding restrictions of access to natural resources is described below and

can be divided into five key elements: social assessment; determining the nature and scope of restrictions;

identifying mitigation measures; developing a Plan of Action; and monitoring and evaluation.

Social Assessment and Consultations

A first step during project implementation is the undertaking of a social survey of at least the two main

sources of the poor resource-dependent individuals and groups – Yarmag and Nailakh. This will be done

in close cooperation with local authorities and through extensive consultations with residential

communities and households as well as (to the extent possible) people who gather seasonal products or

may periodically graze their animals unofficially in the SPA.

The survey will help develop a better understanding of the individuals and groups and will include:

the types and extent of use of natural resources;

the existing rules and institutions for the use and management of natural resources;

local and indigenous knowledge of biodiversity and natural resource use (if any);

the potential livelihood impacts of more-strictly enforced restrictions on use of resources in the

area;

individuals’ and communities’ suggestions and/or views on possible mitigation measures to such

impacts;

potential conflicts over the use of natural resources, and methods for solving such conflicts; and

strategies for local participation and consultation during project implementation, including

implementation of a Plan of Action and monitoring and evaluation.

Determining the nature and scope of restrictions of access to natural resources

The social survey will inform appropriate decisions concerning restrictions of resources based on a well-

founded understanding of both the socioeconomic and biological contexts, including of existing

biodiversity and natural resources and the threats to these. Thus, the available biological and ecological

information (espaically on species targeted by the project-affected people) plus the monitoring data will

be made available to the social team.

Equally important in determining restrictions of access to natural resources is the consultation process

with all relevant stakeholders, including potentially affected communities and persons. While some

restrictions will be determined by existing laws and regulations, others will be determined through good

faith negotiations between key stakeholders, primarily the Bogd Khan Uul SPA and affected individuals

and communities. These consultations may also lead to agreements on certain levels and seasons of

particular types of natural resource use by certain communities or individuals in the Limited Use Zone,

keeping in mind the overall sustainability of the project objectives.

Identification of Mitigation Measures

Once the project has established an understanding of the potential adverse impacts from restrictions of

access to natural resources that have been found to be necessary, appropriate measures to mitigate and

compensate the impacts are developed through a participatory process with affected communities and

persons, the Bogd Khan Uul SPA Administration, and other relevant stakeholders.

There are numerous measures that can be employed to improve or restore the livelihoods of local peoples

affected by the restriction of access to natural resources. These can be categorized as follows:

Special measures for the recognition and support of long term use of land and natural resources;

Transparent, equitable, and fair ways of more sustainably sharing the resources;

Access to alternative resources or functional substitutes;

Alternative livelihood and income-generating activities;

Small-scale conservation and rural development activities, such as installing energy conserving

technologies;

Health and education benefits;

Obtaining employment, for example as rangers, as hotel/ger camp staff, or as visitor guides; and

Technical assistance to improve land and natural resource use, and marketing of sustainable

products and commodities if appropriate.

These measures should be in place before restrictions are enforced against the vulnerable persons,

although they may be implemented as restrictions are being introduced or enforced. They will be

described, along with agreed restrictions and levels of natural resource use, in a Plan of Action.

Plan of Action

A Plan of Action is subsequently developed together with the affected communities to describe:

the natural resource use and management schemes,

agreed restrictions of access to natural resources,

the anticipated social and economic impacts,

the people eligible for assistance,

measures to assist the affected persons, and

the arrangements for their implementation.

The action plan can take many forms. It can simply describe the nature and scope of restrictions and

levels of resource use agreed to, persons affected and eligible for assistance, mitigation measures, cost

estimates and financing plan, conflict resolution mechanism, and monitoring and evaluation

arrangements. It may also take the form of a broader natural resource agreement or protected areas

management plan, provided that such a document includes the above listed elements.

The actual type of instrument will be decided during implementation; it will depend on the nature and

scope of restrictions, their impacts and required mitigation measures and the needs and preferences of the

Bogd Khan Uul SPA Administration and affected communities. A key element in deciding on the best

instrument is simplicity—the instrument should be simple and easy to understand for all relevant

stakeholders and easy to implement. A Plan of Action may be developed covering all affected

communities and persons or several plans may be developed to cover different persons; e.g. by geography

(one for each valley with affected communities or individuals), by type of restrictions or by type of

affected person.

The following elements and principles may be included in the Plan of Action, as appropriate:

How the plan was prepared, including consultations with local communities and other

stakeholders;

The socio-economic circumstances of local communities;

The nature, scope and timing of restrictions;

The anticipated social and economic impacts of these restrictions;

The communities or persons eligible for assistance;

Specific measures to assist affected people, along with clear timetables of action;

Budget and financing sources;

Boundaries and use zones of the Bogd Khan Uul SPA;

Implementation arrangements, roles and responsibilities of various stakeholders, including

government and non-government entities providing services or assistance to affected

communities;

Arrangements for monitoring and enforcement of restrictions and natural resource management

agreements;

Clear output and outcome indicators developed in participation with affected communities (e.g. of

mitigation measures);

Special measures concerning women and vulnerable groups;

Capacity building activities for the affected communities to enhance their participation in the

implementation of the Plan of Action and other project activities;

Grievance mechanism and conflict resolution taking into account local dispute resolution

practices and norms; and

Participatory monitoring and evaluation mechanism adapted to the local context and capacity.

Monitoring will include the extent and significance of adverse impacts as well as the outcome of

mitigation measures.

The Plan of Action must be submitted to the World Bank for approval during implementation and,

importantly, prior to any access use restrictions coming into affect.

Monitoring and evaluation

Baseline information on socio-economic conditions of the villages and households who may be affected

by restrictions of access to natural resources will be collected through the social assessment conducted at

the initial stage of implementation. In addition to using these data as the basis for determining the

eligibility of villages and households for assistance under the Process Framework, and designing

measures to assist the affected persons in their efforts to improve or restore their livelihoods, the baseline

date will also be used to monitor progress and impacts during implementation. Follow-up assessments

conducted at the mid-term review and the close of the project, will be targeted to those parts of local

communities and persons affected by project activities for the purpose of monitoring and evaluation of the

implementation and impacts of the restrictions and mitigation measures.

The specific monitoring indicators will also be outlined in the Plan of Action. The indicators should be

able to identify and measure:

numbers of eligible villages and households;

the potential livelihood impacts to these villages and households of new or more strictly enforced

restrictions on use of resources in the Bogd Khan Uul SPA;

livelihood benefits of measures to assist the affected persons;

numbers of villages and households participating in participatory conservation activities; and

funds provided to eligible villages and households for mitigation measures.

The monitoring and evaluation system will be developed during early implementation of the project. It

will include arrangements for participatory monitoring and evaluation of project activities as they relate to

(beneficial and adverse) impacts on persons within the project impact area, and for monitoring the

effectiveness of measures taken to improve (or at minimum restore) incomes and living standards.

Institutional Arrangements As the implementing agency of the project, the Ministry of Nature, Environment and Tourism (MNET)

also has overall responsibility for the implementation of this Process Framework. The Project

Management Unit within the Special Protected Area Administration Department (SPAA) of MNET will

be responsible for the day-to-day implementation of the Framework. Implementation of the Framework

will be done in close cooperation with the Bogd Khan Uul SPA Administration.

The PMU will be responsible for cooperating with other relevant agencies and civil society organizations

that may contribute to the implementation of the Process Framework. Particularly input from other

government agencies and NGOs may be required concerning implementation of mitigation measures.

The technical team of short- and medium-term, international and national consultants, led by the Chief

Technical Adviser, will include the Community Liaison Officer to assist the PMU and Bogd Khan Uul

SPA in the implementation of the Framework.

Capacity-building activities of the project will include capacity building of the Bogd Khan Uul SPA,

MNET and other relevant government entities concerning the implementation of this Process Framework.

This may include capacity building in participatory natural resource management, social assessment and

consultations, development of sustainable alternatives of livelihoods for local communities, and

strengthening community institutions.

The World Bank will supervise the implementation of the Process Framework, and will review and

approve the Plan of Action.

Conflict Resolution and Grievance Mechanism The risk of conflicts arising between communities or individuals and conflicts between Bogd Khan Uul

SPA and communities or individuals affected by project activities during implementation of this Process

Framework are real and must be addressed. A two-fold mechanism, with both proactive and reactive

elements for resolution of conflicts, disputes and grievances that might arise, will be put in place.

Proactive Approach

Recognizing that many conflicts arise due to differences in understanding and perceptions, a proactive

approach would be adopted to avoid conflicts before they start. This approach would promote a common

understanding through a five-pronged approach, including:

wide-spread disclosure of project background information, including the final Process

Framework;

clarification of the criteria of eligibility for assistance under the Framework;

clarification of the duties and responsibilities of all stakeholders in the process;

a participatory process for determining any resource use restrictions, allowed levels of resource

use, and mitigation measures to address adverse impacts from restrictions; and

community conservation education and public awareness regarding values of, and threats to, the

Bogd Khan Uul SPA.

Reactive Approach

Conflicts that do arise would be dealt with through the existing institutions and any local institutions

established to assist in the implementation of the project. If resolution is not possible at the community

level, communities or individuals may put forward their complaints and grievances related to any aspect

of the Process Framework, including the determined impacts and mitigation measures, as follows:

As a first stage, affected or concerned persons will present, verbally or in writing, their

complaints to the Bogd Khan Uul SPA or PMU, who will have to provide a documented response

to the claimants within fifteen days. Reports on each complaint and subsequent measures taken

must be given to the MNET, with routine summaries included in regular/monthly reports.

If the claimants are not satisfied with the decision, the case may be submitted directly to the Vice

Minister of MNET, who will have to provide a documented response within fifteen days. MNET

must document on each complaint and subsequent measures taken.

If the claimants are not satisfied with the decision, the case may be submitted to the courts.

Disclosure This Process Framework is to be translated and distributed – together with the project summary – to

relevant sub-district (khoroo) leaders for local discussion. A meeting of interested parties will be called by

the khoroo leader and attended by SPA staff who would answer questions, note concerns and suggestions

and collect names of those who attend. The final Process Framework that will be the basis for

implementation will be disclosed locally, including to potentially affected communities, prior to project

activities concerning the Framework commence.

Budget The cost of implementing this Framework (Community Liaison Officer, part-time community officers,

consultations, socio-economic surveys) is covered by the general budget for the project as shown below.

Consultant/Contract Title Share of Costs for

Social Safeguards

Monitoring

Community Liaison Officer 10,000

Four Part time Community-based Officers 5,000

Community Consultation Trainings 4,000

Community Consultation Specialist 3,000

Socio-economic Survey 10,000

Chief Technial Advisor 10,000

Total $42,000

Funding for mitigation measures will be covered by the government based on a letter of commitment sent

to the Bank. The Plan of Action will include detailed cost of mitigation measures and their

implementation, and will detail funding sources.